ROCKEFELLER FINANCIAL LLC of NEW YORK, NY is an SEC-registered investment adviser (CRD 291361). Regulatory assets under management: $99.6B.
Compensation: % of AUM, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities.
Showing 25 of 27 people.
| Name | Role | Location |
|---|---|---|
| Rizwan Mohammad Mirza | CCO; CHIEF COMPLIANCE OFFICER | — |
| Mark David Alexander | PRINCIPAL OPERATIONS OFFICER | — |
| Deirdre Patten Kowalski | PRINCIPAL FINANCIAL OFFICER | — |
| William Michael Yannotta | CHIEF FINANCIAL OFFICER | — |
| Edmond Nicholas Moriarty | CO-CHIEF EXECUTIVE OFFICER | — |
| Michael Wayne Outlaw | CO-CHIEF EXECUTIVE OFFICER | — |
| Christopher Trevor Dupuy | PRESIDENT & CEO | — |
| FLEMING GREGORY JAMES | DIRECTOR | — |
| ALEXANDER JOHN DAVID | PRINCIPAL OPERATIONS OFFICER | — |
| MORIARTY EDMOND N | CEO AND PRESIDENT | — |
| DUPUY CHRISTOPHER TREVOR | PRESIDENT & CEO | — |
| ZIMMEL ROBERT PATRICK | PRINCIPAL FINANCIAL OFFICER | — |
| SINGH HARDIT | DIRECTOR | — |
| KIM-ROSEN ANNAH Y | CHIEF COMPLIANCE OFFICER | — |
| PORTNOFF DAVID ROSS | CFO AND FINOP; CFO AND PRINCIPAL FINANCIAL OFFICER | — |
| CHIRDO JAMES MICHAEL | SR VICE PRESIDENT & PRINCIPAL OPERATIONS OFFICER | — |
| RANDAZZO CHRISTOPHER | CEO & PRESIDENT | — |
| SOLOMON MICHAEL DEAN | GENERAL COUNSEL & CCO | — |
| DORIA CHRISTOPHER VITO | PRINCIPAL OPERATIONS OFFICER | — |
| WARSHAW BRIAN JOHN | MANAGING DIRECTOR, PRINCIPAL OPERATIONS OFFICER; PRINCIPAL OPERATIONS OFFICER | — |
| BRAGOLI ROBERT | CCO | — |
| ERIGO JOSEPH | CCO | — |
| HELD KEVIN F | PRINCIPAL FINANCIAL OFFICER | — |
| KOWALSKI DEIRDRE PATTEN | PRINCIPAL FINANCIAL OFFICER | — |
| MIRZA RIZWAN MOHAMMAD | CCO | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-04-17 | regulatory | ROCKEFELLER & CO LLC WAS FINED BY THE SOUTH KOREAN FINANCIAL SERVICES COMMISSION ("FSC")FOR THE VIOLATION OF KOREAN SHORT SELLING RESTRICTION UNDER ARTICLE 180 (1) OF THEFINANCIAL INVESTMENT SERVICES AND CAPITAL MARKETS ACT. TRADE ERROR RESULTED IN ANINADVERTENT SHORT POSITION AND PROMPTLY COVERED T… | Final | $200K |
| 2021-08-06 | regulatory | ON JANUARY 19, 2024, THE FIRM ENTERED INTO A LETTER OF ACCEPTANCE, WAIVER AND CONSENT FOR FAILING TO DISCLOSE CERTAIN MARK-UP AND MARK-DOWN INFORMATION ON RETAIL CUSTOMER CONFIRMATIONS FOR THE TIME PERIOD JUNE 2020 TO AUGUST 2021 FOR MUNICIPAL SECURITIES TRANSACTIONS AND CORPORATE AND AGENCY DEBT SE… | Final | $100K |